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The Risk Management Group is looking for an experienced markets compliance professional to join its Macquarie Capital Business Compliance Team in the Americas. Seize this great new opportunity to work in an exciting and dynamic environment where your contribution is recognized from day one.

At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 34 markets and with 55 years of unbroken profitability. You’ll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcomes.

What role will you play?

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As a Compliance Manager within the Macquarie Capital Business Compliance Team, you will be at the forefront of supporting and advising our Cash Equities business. This role involves a blend of regulatory compliance and risk management functions for a US registered broker-dealer and swap introducing broker, specializing in equity research, sales, and execution services (including electronic and algorithmic trading). Reporting to the Head of Equities Compliance for the Americas, you will leverage your extensive experience in broker-dealer compliance or with a securities regulator to foster a culture of compliance and integrity.

Salary range for this position: $120,000 - $160,000/Year. Actual base salary may vary based upon, but not limited to, relevant experience, time in role, peer and market data, prior performance, business sector, and geographic location. You may also be eligible for an annual discretionary incentive compensation award. We offer a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave and Vacation), Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees.

What you offer

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• 5-10 years of proven experience in broker-dealer compliance or with a securities regulator (e.g., SEC/FINRA)
• In-dept knowledge of financial market regulations (e.g., FINRA, SEC, NFA and CFTC) and experience in dealing with regulatory bodies
• Series 3, 4, 7, or equivalent and/or Series 24 certifications would be a plus
• Excellent interpersonal, verbal communication, and analytical skills
• Ability to work under pressure, exercise discretion and judgement, work independently, determine priorities and meet deadlines

We love hearing from anyone inspired to build a better future with us, if you're excited about the role or working at Macquarie we encourage you to apply.

About the Risk Management Group

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In our Risk Management Group, you will be part of an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie’s material risks. Our divisions include Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Prudential Risk, and Risk Management Group Central.

Benefits

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Macquarie employees can access a wide range of benefits which, depending on eligibility criteria, include: 

• Hybrid and flexible working arrangements  
• One wellbeing leave day per year and minimum 25 days of annual leave
• Primary caregivers are eligible for 20 weeks paid leave along with 12 days of transition leave upon return to work and 6 weeks paid leave for secondary caregivers
• Paid volunteer leave and donation matching
• Range of benefits to support your physical, psychological and financial wellbeing 
• Employee Assistance Program, a robust behavioural health network with counselling and coaching services
• Recognition and service awards

Our commitment to diversity, equity and inclusion

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We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie does not discriminate on the grounds of age, disability, sex, sexual orientation, gender identity or expression, marriage, civil partnership, pregnancy, maternity, race (including color and ethnic or national origins), religion or belief.